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Years of Experience
Date Last Verified
SVP/Chief Compliance Officer (CCO) Duties: As a member of senior management, provide guidance and leadership to all SII Investments, Inc. (SII) and Investment Centers of America, Inc. (ICA) employees. Overall responsibility of the daily compliance of the company. Surveillance, dispute resolution, advertising and sales material review, FINRA licensing and registration, branch exams audits, email review and administering and tracking FINRA required continuing education. Provide leadership and guidance to all associates within the SII and ICA Compliance Departments. Responsible for all the firm’s Compliance policies and procedures Serve as the Anti-Money Laundering (AML) Compliance Officer of SII and ICA with full responsibility for ensuring SII and ICA’s compliance with AML Rules and Regulations. Oversee advertising and sales material review, anti-money laundering program, and FINRA licensing and registration review. Pro-actively assists line management in identifying and containing money laundering and terrorist financing risks; reporting suspicions; monitoring the business, procedures and controls; fostering a compliance culture; and optimizing relations with the anti-money laundering authorities. Work with management and operational departments to formalize and maintain policies and procedures to ensure that the business is in compliance with applicable federal securities laws and to ensure the appropriate safeguards are in place to prevent, detect, and make corrections to any compliance failures. Carryout annual reviews of policies and procedures to determine effectiveness of compliance procedures. Participate and respond to various SEC, FINRA and state department of insurance inquiries, including local FINRA District office examination, FINRA Advertising Regulation spot-check, and SEC/FINRA sweeps. Provide education/training to operational departments regarding their responsibilities with respect to the compliance program. Speak on Compliance issues at the SII and ICA National Conferences. Effectively communicate all compliance policies and procedures to SII and ICA customers.
Qualification and Experience
Qualifications: Bachelor’s degree or equivalent education and experience. Advanced degree (MBA, JD Degree) preferred FINRA Series 7, 66 (or 63 & 65), and 24 required. FINRA Series 53 preferred. 12 years related broker/dealer compliance experience required. 3+ years of experience functioning in a leadership position within a financial services organization Regulatory experience dealing with FINRA, SEC and States Strong planning, project management and problem solving skills. Excellent leadership skills with ability and desire to mentor and develop staff. Ability to establish and maintain effective working relationships with superiors, colleagues, as well as internal and external contacts. Excellent knowledge of compliance requirements and regulations impacting the insurance and financial services industry including laws related to broker-dealer operations. Strong critical thinking and analysis skills with ability to provide alternative approaches and solutions. Exceptional communication (verbal, written), presentation and interpersonal skills. Results oriented with ability to deliver within a fast-paced, execution oriented environment. Holds self and others accountable to meet and exceed expectations and to deliver business results.
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